Department of Defense MANUAL Docs... · 2020. 9. 25. · Department of Defense MANUAL . NUMBER ....

Department of Defense MANUAL

NUMBER 5200.01, Volume 2 February 24, 2012

Incorporating Change 4, Effective July 28, 2020

USD(I&S)

SUBJECT: DoD Information Security Program: Marking of Information

References: See Enclosure 1

1. PURPOSE

a. Manual. This Manual is composed of several volumes, each containing its own purpose.The purpose of the overall Manual, as authorized by DoD Directive (DoDD) 5143.01 (Reference (a)) and DoD Instruction (DoDI) 5200.01 (Reference (b)), is to reissue DoD 5200.1-R (Reference (c)) as a DoD Manual (DoDM) to implement policy, assign responsibilities, and provide procedures for the designation, marking, protection, and dissemination of controlled unclassified information (CUI) and classified information, including information categorized as collateral, sensitive compartmented information (SCI), and Special Access Program (SAP). This guidance is developed in accordance with Reference (b), Executive Order (E.O.) 13526, E.O. 13556, and parts 2001 and 2002 of title 32, Code of Federal Regulations (References (d), (e), and (f)). This combined guidance is known as the DoD Information Security Program.

b. Volume. This Volume:

(1) Provides guidance for the correct marking of information.

(2) Incorporates and cancels DoD 5200.1-PH, Directive-Type Memorandum (DTM)04-009, and DTM 05-008 (References (g), (h), and (i)).

2. APPLICABILITY. This Volume:

a. Applies to OSD, the Military Departments, the Office of the Chairman of the Joint Chiefsof Staff and the Joint Staff, the Combatant Commands, the Office of the Inspector General of the Department of Defense, the Defense Agencies, the DoD Field Activities, and all other organizational entities within the DoD (hereinafter referred to collectively as the “DoD Components”).

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Change 4, 7/28/2020 2

b. Does not alter existing authorities and responsibilities of the Director of NationalIntelligence (DNI) or of the heads of elements of the Intelligence Community (IC) pursuant to policies issued by the DNI. Consistent with Reference (b), SCI shall be safeguarded in accordance with the policies and procedures issued by the DNI, as implemented by Volumes 1-3 of DoDM 5105.21 (References (j), (k), and (l)) and other applicable guidance.

3. DEFINITIONS. See Glossary.

4. POLICY. It is DoD policy, in accordance with Reference (b), to:

a. Identify and protect national security information and CUI in accordance with nationallevel policy issuances.

b. Promote information sharing, facilitate judicious use of resources, and simplifymanagement through implementation of uniform and standardized processes.

c. Prescribe, use, and enforce standards for marking all classified national securityinformation, consistent with the requirements of References (d) and (f).

d. Facilitate information sharing by application of restrictive dissemination markings onlywhere clearly warranted.

5. RESPONSIBILITIES. See Volume 1, Enclosure 2.

6. PROCEDURES. See Enclosures 2 through 4.

7. RELEASABILITY. Cleared for public release. Available on the Directives DivisionWebsite at https://www.esd.whs.mil/DD/.

8. SUMMARY OF CHANGE 4. This administrative change updates the title of the UnderSecretary of Defense for Intelligence to the Under Secretary of Defense for Intelligence andSecurity in accordance with Public Law 116-92 (Reference (au)).

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Change 4, 7/28/2020 3

9. EFFECTIVE DATE. This Volume is effective February 24, 2012.

Enclosures 1. References2. Overview3. Marking Principles4. Marking Standard

Glossary

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Change 4, 7/28/2020 4 CONTENTS

TABLE OF CONTENTS

ENCLOSURE 1: REFERENCES ...................................................................................................9

ENCLOSURE 2: OVERVIEW.....................................................................................................12

MARKING STANDARD ........................................................................................................12 EXAMPLES ............................................................................................................................13 WAIVERS INVOLVING MARKING OF CLASSIFIED INFORMATION .........................13 COVER SHEETS AND CLASSIFICATION LABELS .........................................................14 TRIGRAPHS AND TETRAGRAPHS ....................................................................................14 REQUESTS FOR OPERATIONAL TETRAGRAPHS ..........................................................15

Process ...............................................................................................................................15 Considerations....................................................................................................................15 Request Requirements .......................................................................................................15

ENCLOSURE 3: MARKING PRINCIPLES ...............................................................................17

MARKING REQUIREMENT .................................................................................................17 GENERAL GUIDELINES ......................................................................................................17 REQUIRED MARKINGS ON CLASSIFIED DOCUMENTS ...............................................18 SPECIAL NOTICES ...............................................................................................................19 BANNER LINES .....................................................................................................................20 PORTION MARKS .................................................................................................................21 DOD COMPONENT, OFFICE, AND DATE OF ORIGIN ....................................................23 CLASSIFICATION AUTHORITY BLOCK ..........................................................................24

General Requirements ........................................................................................................24 Original Classification .......................................................................................................24 Derivative Classification ....................................................................................................27 Examples ............................................................................................................................28

USE OF CALCULATED DECLASSIFICATION DATE IN PLACE OF PREVIOUS DECLASSIFICATION INSTRUCTIONS ........................................................................36

MARKINGS FOR CHANGES IN CLASSIFICATION .........................................................37 Confirmation of Change ....................................................................................................37 Declassification ..................................................................................................................37 Downgrading......................................................................................................................37 Downgrading or Declassification Earlier Than Scheduled ...............................................38 Upgrading ..........................................................................................................................38 Extension of Classification ................................................................................................38 Reclassification ..................................................................................................................38 Bulk Changes .....................................................................................................................38

DECLASSIFICATION MARKINGS .....................................................................................39 CLASSIFICATION AS A RESULT OF COMPILATION ....................................................40 WORKING PAPERS...............................................................................................................41 REFERENCES ........................................................................................................................43

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TRANSMITTAL DOCUMENTS ...........................................................................................43 BRIEFING SLIDES.................................................................................................................46 MARKING IN THE ELECTRONIC ENVIRONMENT ........................................................48

General Guidance...............................................................................................................48 E-Mail Messages ................................................................................................................49 Web Pages ..........................................................................................................................51 URLs ..................................................................................................................................51 Dynamic Documents ..........................................................................................................52 Bulletin Board Postings and Blogs ....................................................................................53 Wikis ..................................................................................................................................53 Instant Messaging, Chat, and Chat Rooms ........................................................................54 Attached Files ....................................................................................................................54

SPECIAL TYPES OF MATERIALS ......................................................................................54 General Guidance...............................................................................................................54 Blueprints, Engineering Drawings, Charts and Maps ........................................................55 Photographic Media ...........................................................................................................56 Digital Video Discs (DVDs), Video Tapes, Motion Picture Films, and Web Videos .......57 Sound Recordings ..............................................................................................................57 Microfilm, Microfiche, and Similar Microform Media .....................................................57 Removable Electronic Storage Media ...............................................................................58

MARKING FGI .......................................................................................................................59 MARKING REQUIREMENTS FOR TRANSFERS OF DEFENSE ARTICLES TO

AUSTRALIA OR THE UNITED KINGDOM WITHOUT AN EXPORT LICENSE OR OTHER WRITTEN AUTHORIZATION ...................................................................60

TRANSLATIONS ...................................................................................................................60 MARKING DOCUMENTS FOR TRAINING PURPOSES OR AS AN EXAMPLE ...........60 DISTRIBUTION STATEMENTS...........................................................................................61

ENCLOSURE 4: MARKING STANDARD ................................................................................63

OVERVIEW ............................................................................................................................63 USE OF THE MARKING “NOT RELEASABLE TO FOREIGN NATIONALS”

(NOFORN) ........................................................................................................................65 U.S. CLASSIFICATION MARKINGS ...................................................................................66 FGI MARKINGS USED ON NON-U.S. DOCUMENTS ......................................................67

General ...............................................................................................................................67 NATO Classification Markings .........................................................................................68 Documents Marked RESTRICTED or That Are Provided “in Confidence” ....................69

JOINT CLASSIFICATION MARKINGS ...............................................................................70 SCI CONTROL SYSTEM MARKINGS ................................................................................72 SAP CONTROL MARKINGS ................................................................................................74 ATOMIC ENERGY ACT INFORMATION MARKINGS ....................................................76

RD .....................................................................................................................................77 FRD ....................................................................................................................................79 CNWDI ..............................................................................................................................80 Sigma .................................................................................................................................81

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FGI MARKINGS USED IN U.S. DOCUMENTS ..................................................................83 DISSEMINATION CONTROL MARKINGS ........................................................................87

Dissemination Control Markings for Intelligence Information .........................................87 FOUO .................................................................................................................................87 CUI .....................................................................................................................................88 Dissemination and Extraction of Originator Controlled (ORCON) Information ..............88 Authorized For Release To (REL TO)...............................................................................90 Display Only ......................................................................................................................93

OTHER DISSEMINATION CONTROL MARKINGS ..........................................................95 Alternative Compensatory Control Measures (ACCM) ....................................................95 Department of State (DoS) Dissemination Control Markings ...........................................96 Equivalent Foreign Security Classifications ......................................................................96

APPENDIXES 1. DISSEMINATION CONTROL MARKINGS FOR INTELLIGENCE

INFORMATION..........................................................................................................97 2. DOS DISSEMINATION CONTROL MARKINGS ..................................................103

GLOSSARY ..........................................................................................................................106

PART I. ABBREVIATIONS AND ACRONYMS ..............................................................106 PART II. DEFINITIONS ......................................................................................................108

TABLE

1. Authorized Distribution Statements ....................................................................................62

FIGURES

1. Examples of Banner Markings ............................................................................................20 2. Examples of Portion Markings ...........................................................................................22 3. Example of Originally Classified Document ......................................................................26 4. Example of Derivatively Classified Document ..................................................................28 5. Markings on a Memorandum ..............................................................................................33 6. Markings on an Action Memorandum ...............................................................................34 7. Markings on a Staff Summary Sheet ..................................................................................35 8. Use of Calculated Declassification Date .............................................................................36 9. Declassification Markings ..................................................................................................40 10. Classification as a Result of Compilation .........................................................................42 11. Markings on Working Papers ...........................................................................................43 12. Marking References ..........................................................................................................43 13. Transmittal Documents .....................................................................................................45 14. Markings on Briefing Slides .............................................................................................47 15. Multiple Source Listing on Briefing Slides ......................................................................48 16. Marking E-Mails ...............................................................................................................50 17. Examples of URL with Included Portion Mark ................................................................52

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18. Example of Portion-Marked URL Embedded in Text ......................................................52 19. Warning Statement for Dynamic Documents ...................................................................53 20. Markings on Maps ............................................................................................................55 21. Markings on Charts ...........................................................................................................56 22. Markings on Photographs .................................................................................................57 23. Markings on IT Systems and Media .................................................................................59 24. Information Provided by Distribution Statements ............................................................61 25. Marking Structure .............................................................................................................64 26. Example of U.S. Classification Markings .........................................................................66 27. Example of Markings for Non-U.S. Documents ..............................................................67 28. Examples of NATO Markings ..........................................................................................69 29. CONFIDENTIAL—Modified Handling Example ...........................................................70 30. Example of Joint Classification Marking .........................................................................71 31. Example of Joint Classification Marking with REL TO ..................................................71 32. Example of Joint Classification Marking in a U.S. Derivative Document .......................72 33. Examples of SCI Control Markings ..................................................................................73 34. Examples of SAP Markings ..............................................................................................75 35. Declassification Markings for SAP Information ..............................................................75 36. Example of RD Markings .................................................................................................78 37. Example of FRD Markings ...............................................................................................80 38. Example of CNWDI Markings .........................................................................................81 39. Example of SIGMA Markings ..........................................................................................82 40. Example of SIGMA 14 Markings .....................................................................................83 41. Example of FGI Marking ..................................................................................................84 42. Example of FGI Marking with NATO Information .........................................................84 43. Example of FGI Marking When Originating Country Is Concealed ...............................85 44. Example of FGI Marking with REL TO ...........................................................................85 45. Example of FOUO Marking in a Classified Document ....................................................88 46. Example of ORCON Marking ..........................................................................................89 47. Example of REL TO Marking ..........................................................................................90 48. Example of REL TO Marking When Not All Portions Are Equally Releasable ..............91 49. Example of REL TO Marking When Portions Lack Explicit Release Markings .............92 50. Example of DISPLAY ONLY Marking ...........................................................................93 51. Example of DISPLAY ONLY Marking with REL TO ....................................................94 52. Example of Markings When Not All Portions Are DISPLAY ONLY .............................94 53. Example of DISPLAY ONLY Marking in Mixed Releasability Situation ......................95 54. Example of ACCM Markings ...........................................................................................96 55. Example of IMCON Marking ...........................................................................................97 56. Example of IMCON Banner Marking When There Are NOFORN Portions ..................98 57. Example of NOFORN Marking ........................................................................................98 58. Example of NOFORN Markings with REL TO Portions .................................................99 59. Example of PROPIN Marking ........................................................................................100 60. Example of RELIDO Marking........................................................................................101 61. Example of FISA Marking ..............................................................................................102 62. Example of EXDIS Marking ..........................................................................................103 63. Example of NODIS Marking ..........................................................................................104

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64. Example of SBU Marking ..............................................................................................104 65. Example of SBU-NF Marking ........................................................................................105

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Change 4, 7/28/2020 9 ENCLOSURE 1

ENCLOSURE 1

REFERENCES

(a) DoD Directive 5143.01, “Under Secretary of Defense for Intelligence and Security(USD(I&S)),” October 24, 2014, as amended

(b) DoD Instruction 5200.01, “DoD Information Security Program and Protection of SensitiveCompartmented Information (SCI),” April 21, 2016, as amended

(c) DoD 5200.1-R, “Information Security Program,” January 14, 1997 (cancelled by Volume 1of this Manual)

(d) Executive Order 13526, “Classified National Security Information,” December 29, 2009(e) Executive Order 13556, “Controlled Unclassified Information,” November 4, 2010(f) Parts 2001 and 2002 of title 32, Code of Federal Regulations(g) DoD 5200.1-PH, “DoD Guide to Marking Classified Documents,” April 1997 (hereby

cancelled)(h) Directive-Type Memorandum 04-009, “Security Classification Marking Instructions,”

September 27, 2004 (hereby cancelled)(i) Directive-Type Memorandum 05-008, “Use of the ‘Not Releasable to Foreign Nationals’

(NOFORN) Caveat on Department of Defense (DoD) Information,” May 17, 2005 (herebycancelled)

(j) DoD Manual 5105.21, Volume 1, “Sensitive Compartmented Information (SCI)Administrative Security Manual: Administration of Information and Information SystemsSecurity,” October 19, 2012, as amended

(k) DoD Manual 5105.21, Volume 2, “Sensitive Compartmented Information (SCI)Administrative Security Manual: Administration of Physical Security, Visitor Control, andTechnical Security,” October 19, 2012, as amended

(l) DoD Manual 5105.21, Volume 3, “Sensitive Compartmented Information (SCI)Administrative Security Manual: Administration of Personnel Security, Industrial Security,and Special Activities,” October 19, 2012, as amended

(m) Intelligence Community Directive 710, “Classification Management and Control MarkingsSystem,” June 21, 2013

(n) Director of National Intelligence, “Authorized Classification and Control MarkingsRegister” (current version)1

(o) Director of National Intelligence, “Intelligence Community Classification and ControlMarkings Implementation Manual” (current version)1

(p) International Organization for Standardization Standard 3166-1:2006, “Codes for theRepresentation of Names of Countries and Their Subdivisions,” current edition2

(q) DoD Manual 5200.45, ‘Instructions for Developing Security Classification Guides,”April 2, 2013, as amended

1 This document is For Official Use Only (controlled unclassified information). It is available to authorized recipients on SIPRNET (http://www.intelink.sgov.gov/sites/ssc/capco/default.aspx), on JWICS (http://www.intelink.ic.gov/sites/ppr/security/ssc/capco/default.aspx), or from the ODNI Controlled Access Program Coordination Office 2 Available at http://www.iso.org

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(r) DoD Instruction 8320.02, “Sharing Data, Information, and Information Technology (IT)Services in the Department of Defense,” August 5, 2013, as amended

(s) DoD Instruction 5230.24, “Distribution Statements on Technical Documents,” August 23,2012, as amended

(t) National Security Agency/Central Security Service Policy Manual 3-16, “Control ofCommunications Security (COMSEC) Material,” August 2005

(u) Executive Order 12951, “Release of Imagery Acquired by Space-Based NationalIntelligence Reconnaissance Systems,” February 22, 1995

(v) DoD Instruction 5230.09, “Clearance of DoD Information for Public Release,” January 25,2019

(w) DoD Instruction 5230.29, “Security and Policy Review of DoD Information for PublicRelease,” August 13, 2014, as amended

(x) National Disclosure Policy-1, “National Policy and Procedures for the Disclosure ofClassified Military Information to Foreign Governments and International Organizations,”October 2, 20003

(y) DoD Instruction S-5105.63, “Implementation of DoD Cover and Cover Support Activities(U),” June 20, 2013

(z) DoD Directive 5230.11, “Disclosure of Classified Military Information to ForeignGovernments and International Organizations,” June 16, 1992

(aa) DoD Directive 5230.20, “Visits and Assignments of Foreign Nationals,” June 22, 2005 (ab) United States Security Authority for NATO Affairs Instruction 1-07, “Implementation of

North Atlantic Treaty Organization (NATO) Security Requirements,” April 5, 20074 (ac) DoD Directive 5100.55, “United States Security Authority for North Atlantic Treaty

Organization Affairs (USSAN),” February 27, 2006 (ad) Committee on National Security Systems Policy 18, “National Policy on Classified

Information Spillage,” June 20065 (ae) DoD Directive 5205.07, “Special Access Program (SAP) Policy,” July 1, 2010, as amended (af) DoD Instruction 5205.11, “Management, Administration, and Oversight of DoD Special

Access Programs (SAPs),” February 6, 2013, as amended (ag) DoD Manual 5205.07, Volume 4, “Special Access Program (SAP) Security Manual:

Marking,” October 10, 2013, as amended (ah) Section 2011, et seq., of title 42, United States Code (also known as “The Atomic Energy

Act of 1954, as amended”) (ai) Subpart A of Part 1045 of title 10, Code of Federal Regulations (aj) DoD Instruction 5210.02, “Access to and Dissemination of Restricted Data and Formerly

Restricted Data,” June 3, 2011, as amended (ak) DoD Instruction 5210.83, “DoD Unclassified Controlled Nuclear Information (UCNI),”

July 12, 2012, as amended (al) Section 552 of title 5, United States Code (also known as “The Freedom of Information

Act”)

3 Provided to designated disclosure authorities on a need-to-know basis from the Office of the Deputy Under Secretary of Defense (Policy Integration) and Chief of Staff 4 Available from the Central U.S. Registry 5 Available at http://www.cnss.gov/Assets/pdf/CNSSP-18.pdf

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(am) Director of Central Intelligence Directive 6/6, “Security Controls on the Dissemination of Intelligence Information,” July 11, 20016

(an) Director of National Intelligence Memorandum, E/S 00045, “Guiding Principles for Use of the ORCON Marking and for Sharing Classified National Intelligence with U.S. Entities,” March 11, 20117

(ao) Director of Central Intelligence Directive 6/7, “Intelligence Disclosure Policy,” June 30, 19986

(ap) DoD Instruction 5030.59, “National Geospatial-Intelligence Agency (NGA) LIMITED DISTRIBUTION Geospatial Intelligence (GEOINT),” March 10, 2015, as amended

(aq) Sections 1801, et seq. of title 50, United States Code (also known as “The Foreign Intelligence Surveillance Act of 1978, as amended”)

(ar) DoD Directive 5400.7, “DoD Freedom of Information Act (FOIA) Program,”, April 5, 2019

(as) Executive Order 12333, “United States Intelligence Activities,” December 4, 1981, as amended

(at) Parts 120 through 130 of title 22, Code of Federal Regulations (also known as “The International Traffic in Arms Regulations”)

(au) Public Law 116-92, “National Defense Authorization Act for Fiscal Year 2020,” December 20, 2019

6 SIPRNET at htpps://intelshare.intelink.sgov.gov/sites/ssc/capco/capco%20%web%20part%20pages/dcid-.aspx 7 Classified document available to qualified recipients on a need-to-know basis from the ODNI Controlled Access Program Coordination Office

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ENCLOSURE 2

OVERVIEW

1. MARKING STANDARD. This marking system augments and further defines the markingsrequirements established in References (d), (e), and (f), as applicable, for overall classificationand portion marks.

a. The marking system specifies a uniform list of authorized security classification andcontrol markings and their authorized abbreviations and portion markings.

b. Documents marked in accordance with previous guidance need not be re-marked withmarkings compliant with guidance in this Volume. All newly created documents (original and derivative) shall carry compliant markings.

c. The marking standard includes a requirement to add the applicable dissemination controlmarkings to the overall classification line and to portion markings. Primary changes to the DoD marking system implemented by this standard are:

(1) The overall classification line is referred to as the “banner line.”

(2) The applicable dissemination control marking(s) (e.g., REL TO (authorized forrelease to)) shall be included in the banner line and the portion markings.

(3) The portion marks for subjects and titles shall be placed before the subject or title, asfor other text. The previous exception to the placement rules for subjects and titles is no longer authorized.

(4) The standard for annotating dates in the classification authority block isYYYYMMDD. (This format is consistent with the metadata standard; see paragraph 2.h of Enclosure 3.)

(5) Markings must appear in the order specified in Enclosure 4.

(6) The format for markings will follow the syntax specified in Enclosure 4.

d. Defense Intelligence Components and personnel working with intelligence andintelligence-related information under the purview of the DNI shall refer to IC Directive (ICD) 710 (Reference (m)), the “Authorized Classification and Control Markings Register” (Reference (n)) (hereafter called the “CAPCO Register”) issued by the Office of the Director of National Intelligence (ODNI) Controlled Access Program Coordination Office (CAPCO), and the “IC Classification and Control Markings Implementation Manual” (Reference (o)) (hereafter called the “Marking Implementation Manual”) for guidance on marking and dissemination of classified and unclassified intelligence information. The CAPCO Register and Marking Implementation Manual are available electronically on the Joint Worldwide Intelligence Communications System

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(JWICS) at http://www.intelink.ic.gov/sites/ppr/security/ssc/capco/ default.aspx and on the SECRET Internet Protocol Router Network (SIPRNET) at http://www.intelink.sgov.gov/sites/ssc/capco/default.aspx.

2. EXAMPLES. All figures and associated markings used in this document are unclassified andare for example only. The markings used in the figures are to illustrate the required format. Inorder to keep this document unclassified, unclassified memorandums or other samples are usedas the basis for some of the examples. The contents of the example documents are not relevantexcept to the extent they provide further explanation or highlight particular points.

3. WAIVERS INVOLVING MARKING OF CLASSIFIED INFORMATION. Only theDirector of the Information Security Oversight Office (ISOO) may grant waivers to the markingrequirements specified by References (d) and (f) for classified information. Any portion markingwaiver approved will be temporary and will have specific expiration dates. Administrativeburden alone will ordinarily not be viewed as sufficient grounds to support a waiver. Requestsfor waivers from the non-Intelligence DoD Components, including those involving SAPs, shouldbe forwarded to the Office of the Deputy Director for Intelligence (Counterintelligence, LawEnforcement, & Security) (DDI(CL&S)), for submission to the Director, ISOO. DoDComponents that are elements of the IC shall furnish a copy to the DDI(CL&S), when submittingwaiver requests in accordance with DNI policy. A waiver request shall include:

a. Identification of the information (or class of documents) for which the marking waiver issought.

b. A detailed explanation of why the Director, ISOO, should grant the waiver.

c. The DoD Component’s judgment of the anticipated dissemination of the information forwhich the waiver is sought.

d. For portion marking waiver requests:

(1) The extent to which the documents subject to the waiver may be a basis forderivative classification.

(2) How the DoD Component intends to eliminate or mitigate the negative impact thatthe lack of portion marking has on the sharing of information, as appropriate, between and among the DoD Components, Executive Branch agencies, and foreign partners and allies, as well as State, local, and tribal governments, law enforcement agencies, and the private sector.

(3) A statement of support from the Under Secretary of Defense for Intelligence andSecurity (USD(I&S)), the Secretary of Defense’s designee for security policy matters. DoD elements of the IC shall also provide a statement of support from the DNI.

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e. For waiver requests involving prescribed standard forms, the proposed alternative formmust be submitted with the request.

4. COVER SHEETS AND CLASSIFICATION LABELS

a. Classified files, folders, and similar groups of documents shall have clear classificationmarkings on the outside of the folder or holder. Attaching the appropriate classified document cover sheet (Standard Form (SF) 703, “Top Secret (Cover sheet);” SF 704, “Secret (Cover sheet);” or SF 705 “Confidential (Cover sheet)”) to the front of the folder or holder shall satisfy this requirement. These cover sheets need not be attached when the item is in secure storage (e.g., GSA-approved security container).

b. If not otherwise marked, the SF classification labels listed in subparagraphs (1) through(3) of this paragraph should be used to identify the highest level of classified information storedon information technology (IT) systems and removable electronic storage media. These labelsmay also be used on other forms of property to clearly identify the classification level of theinformation contained in or on that item, when appropriate. In an environment in which bothclassified and unclassified information is processed or stored, SF 710, “Unclassified (Label)”shall be used to identify unclassified media or equipment. There is no requirement to use SF 710in environments where no classified information is created or used. If the level of classificationof the information on the medium changes (i.e., the information is declassified, downgraded, orupgraded), the label shall be replaced or covered by the appropriate label for the new level ofclassification.

(1) SF 706, “Top Secret (Label)”

(2) SF 707, “Secret (Label)”

(3) SF 708, “Confidential (Label)”

c. Where cover sheets and classification labels are used, the specified SFs must be usedunless a waiver is granted in accordance with section 3 of this enclosure.

5. TRIGRAPHS AND TETRAGRAPHS. Trigraphs which are compatible with the InternationalOrganization for Standardization (ISO) Standard 3166 (ISO-3166) (Reference (p)) for countrynames and a partial list of approved international organization and alliance tetragraphs areavailable at https://www.intelink.gov/sites/ousdi/hcis/sec/icdirect/information/default.aspx under“Additional Resources.” Complete, current listings of approved country trigraphs andinternational organization and alliance tetragraphs are posted on the CAPCO websites listed inparagraph 1.d of this enclosure.

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6. REQUESTS FOR OPERATIONAL TETRAGRAPHS

a. Process

(1) All requests for new tetragraphs or changes to an existing tetragraph contained in theTetragraph Table in Annex A of the CAPCO Register, except as provided in subparagraph 6.a.(2) of this section, shall be submitted to DDI(CL&S), for review and, as appropriate,endorsement, prior to forwarding to CAPCO. Allow 90 days for processing such requests,although submission is encouraged as soon as the need is defined. All requests for action within30 days must include justification.

(2) Requests for changes to tetragraphs that are solely changes to the existing country listshall be sent directly to CAPCO, with a copy to the DDI(CL&S). Justification or other supporting documentation must be included with such requests.

(3) Care should be taken to ensure all requests are appropriately classified.

(4) It is the requesting organization’s responsibility to notify its workforce and anyrecipients (foreign or domestic) of the newly created or modified tetragraph, once approved.

b. Considerations. When proposing a new tetragraph, consider:

(1) Frequency of use and stability of the associated membership list. The membershiplist should not change frequently (i.e., not more than twice a year).

(2) Tetragraph development. The proposed tetragraph must be four alphabeticcharacters; the same character may not be repeated four times (e.g., RRRR). It should not spell out an actual word and may not be close to or duplicate an approved tetragraph.

(3) Significant impacts to information systems if the request is approved and/or if themembership list changes.

(4) Foreign disclosure office concerns and coordination.

c. Request Requirements. Requests for new operational tetragraphs shall include:

(1) Proposed tetragraph code and full title with classification level and foreign disclosuredecision(s) associated with each, if classified. For classified tetragraphs, provide the appropriate classification authority block.

(2) List of member countries or organizations in alphabetical order, with classificationlevel and foreign disclosure decision if classified when associated with the tetragraph code or its title.

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(3) A description of the intent or purpose for the tetragraph, and the impact(s) if themarking is not approved and how that will be addressed. Attach documentation that supports the request.

(4) When the request is intended to remove a country from an existing tetragraph, adescription of actions to be taken to prevent continued dissemination (including electronic dissemination) of classified information to a country that is no longer involved in the exchange and how continued protection of classified information already released will be ensured.

(5) A detailed explanation of foreign disclosure office concerns, if any. If none, so state.

(6) Requested date of incorporation into the CAPCO Register.

(7) Identification of the point of contact, giving name, title, organization, phone numberand e-mail address. The point of contact will be expected to provide responses to questions and to inform the DDI(CL&S), and CAPCO of any changes in status that impact the tetragraph’s listing.

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ENCLOSURE 3

MARKING PRINCIPLES

1. MARKING REQUIREMENT. All classified information shall be identified clearly bymarking, designation, or electronic labeling. If physical marking of the medium containingclassified information is not possible, then identification must be accomplished by other means.The term “marking” includes other concepts of identifying the classification of the information.Markings, designations, and electronic labeling shall be conspicuous and immediately apparentand shall:

a. Alert holders to the presence of classified information.

b. Identify, as specifically as possible, the exact information needing protection and the levelof protection required.

c. Give information on the source(s) of and reasons for classification of the information.

d. Identify the office of origin and document originator applying the classification markings.

e. Provide guidance on information sharing, and warn holders of special access,dissemination control, or safeguarding requirements.

f. Provide guidance on downgrading and declassification for classified information.

2. GENERAL GUIDELINES

a. The proper marking of a classified document is the specific responsibility of the originalor derivative classifier (i.e., the author or originator of the information). Derivative classifiers shall refer to the source document(s), security classification guide(s), or other guidance issued by the original classification authority (OCA) when determining the markings to apply. Security Classification Guides will be developed in accordance with DoDM 5200.45 (Reference (q)), and this Manual.

b. The highest level of classified information contained in a document shall appear in a waythat will distinguish it clearly from the informational text and shall be conspicuous enough to alert anyone handling the document that it is classified.

c. The holder of an improperly marked classified document shall contact the documentoriginator to obtain correct markings and shall apply those marking as required.

d. No classification or other security markings may be applied to any article or portion of anarticle that has appeared in a newspaper, magazine, or other public medium. If an article is

DoDM 5200.01-V2, February 24, 2012


evaluated to see if it contains classified information, record the results of the review separately. However, the article and the evaluation may be filed together.

e. To facilitate information sharing and declassification processes, whenever practicable aclassified attachment, addendum, annex, enclosure, or similar section shall be used when classified information constitutes only a small portion of an otherwise unclassified document. Alternately, a separate product that permits dissemination at the lowest level of classification possible or in unclassified form may be prepared.

f. If a classified document has components likely to be removed and used or maintainedseparately, mark each component as a separate document. Examples are annexes or appendices to plans, major parts of reports, or reference charts in a program directive. If an entire major component is unclassified, it may be marked on its face, top and bottom “UNCLASSIFIED,” and a statement added: “All portions of this (annex, appendix, etc.) are Unclassified.” No further markings are required on such a component.

g. Particular attention must be given to information intended for display on websitesauthorized to host classified information to ensure that the information carries all appropriate markings. Since web technologies permit data access without viewing the initial and/or cover pages, page and portion markings are especially important to ensure users are alerted to the presence of classified information and the level of protection it requires.

h. Metadata and/or other tags shall be applied to electronic data as required by DoDI8320.02 (Reference (r)) and its implementing guidance. Metadata and tags shall be used to the greatest extent possible to facilitate electronic handling and dissemination of classified information.

(1) Security metadata for classified electronic information shall, to the extent possible,identify the classification level and any control and dissemination caveats required.

(2) Documents released in electronic format shall have their metadata and otherelectronic tags and labels reviewed for classified information prior to release. Metadata and other electronic tags and labels associated with information in electronic format shall be updated or deleted, as necessary, to reflect the actual classification and other attributes of declassified or downgraded information. Care must be taken to ensure the metadata accurately reflects the information it describes and that classified attributes are not released with unclassified data.

3. REQUIRED MARKINGS ON CLASSIFIED DOCUMENTS. All classified documents shallbear the information identified in this section; however, in exceptional cases specific informationrequired by this section may be excluded if it reveals additional classified information. Theinformation is to be shown using these marking elements: banner lines; portion marks;Component, office of origin, and date of origin; and classification authority block (OCA orderivative). Specific requirements for each marking element are discussed in sections 5 through8 of this enclosure; the figures in this enclosure provide examples of correct usage. Materialother than ordinary paper (and comparable electronic) documents shall have the same

DoDM 5200.01-V2, February 24, 2012


information either marked on it or made immediately apparent to holders by another means. The required information is:

a. The overall classification of the document (i.e., Confidential, Secret, or Top Secret).

b. Identification of the specific classified information in the document and its level ofclassification.

c. Component, office of origin, and date of origin.

d. Identification of the basis for classification of the information contained in the documentand of the OCA or derivative classifier.

e. Declassification instructions and any downgrading instructions that apply.

f. Identification of special access, dissemination control, and handling or safeguardingrequirements that apply.

4. SPECIAL NOTICES. In addition to the information specified by section 3 of this enclosure,special notices may be required for specific types or categories of information by this Manual orother DoD issuances. Unless another directive or legal authority prescribes different placement,these notices shall be placed on the face of the document.

a. Technical data, as specified in DoDI 5230.24 (Reference (s), shall be marked with thedistribution statements identified in section 24 of this enclosure. If determined to be export-controlled, the warning statement specified by Reference (s) shall be added.

b. The special notice “COMSEC Material - Access by Contractor Personnel Restricted toU.S. Citizens Holding Final Government Clearance” shall be placed on the face of classified documents handled within the COMSEC Material Control System, when required by National Security Agency/Central Security Service Policy Manual 3/16 (Reference (t)). Apply it when the document is created.

c. Other notices are identified in Enclosure 4 with the discussion of the associated markingfor the specific type of information. Among the information requiring special notices are North Atlantic Treaty Organization (NATO), Restricted Data (RD), Formerly Restricted Data (FRD), Critical Nuclear Weapon Design Information (CNWDI), For Official Use Only (FOUO), CUI, and Foreign Intelligence Surveillance Act (FISA).

d. When appropriate, classified information that is subject to specific limitations may bemarked with notices such as: “Reproduction requires approval of originator or higher DoD authority.”

DoDM 5200.01-V2, February 24, 2012


5. BANNER LINES

a. The banner line shall specify the highest level of classification (Confidential, Secret, orTop Secret) of information contained within the document and the most restrictive control markings applicable to the overall document (hereafter referred to as “overall classification”). See Figure 1.

(1) The highest level of classification is determined by the highest level of any oneportion within the document.

(2) The classification level in the banner line must be in English and spelled outcompletely. Only one classification level shall be used.

(3) Any other control markings (e.g., dissemination control markings) included may bespelled out or abbreviated as shown in this Volume.

(4) Banner line markings always use uppercase letters.

Figure 1. Examples of Banner Markings

UNCLASSIFIED UNCLASSIFIED//FOR OFFICIAL USE ONLY

TOP SECRET SECRET//REL TO USA, AUS, CAN, GBR

TOP SECRET//SI/TK//RELIDO SECRET//FRD

SECRET//ORCON/IMCON/NOFORN

b. Conspicuously place the banner line at the top and bottom of the outside of the front coverif any), on the title page (if any), on the first page, and on the outside of the back cover (if any) r last page, of each classified document. Banner line markings are usually centered on the page.

(1) The appropriate markings shall be printed, stamped, or otherwise affixed (with aticker, tape, etc.) as specified. Material other than ordinary paper (and comparable electronic) ocuments must have the same information either marked on it or made immediately available to olders by another means. (See sections 16, 17, and 18 of this enclosure for additional uidance.)

(2) If the document has no front cover, the first page shall be the front page. If it has aover, the first page is defined as the first page you see when you open the cover. In some ocuments, the title page and first page may be the same.

(o

sdhg

cd

DoDM 5200.01-V2, February 24, 2012


c. Each interior page of a classified document shall be marked with a banner line at the topand bottom of the page. Banner markings used on interior pages are also referred to as page markings.

(1) The banner line on an interior page shall specify either the highest level ofclassification of information on that page or “UNCLASSIFIED” if there is no classified information on the page, along with the applicable control markings, or alternatively, all interior pages of the document may be marked with the overall classification of the document and any applicable control markings.

(2) Use of page markings that specify the classification and control markings applicableto the information contained on that specific page requires extreme caution since:

(a) Edits or repagination may cause information of a different classification orrequiring different or additional control markings to move to the page from the page before or the page after.

(b) Paragraphs may begin on one page and continue onto a second page, requiringthe user to ensure that the page markings on the second page properly reflect the classification and control markings contained in the paragraph’s portion markings as stated on the first page.

d. U.S. documents and other products containing foreign government information (FGI)shall carry an overall classification level of either the classification of the U.S. information or the U.S. equivalent of the FGI’s classification, whichever is higher. (See section 19 of this enclosure and section 9 of Enclosure 4 of this Volume for further guidance.)

e. It is optional to mark “UNCLASSIFIED” in the banner line of hard copy documents thatare unclassified and bear no control markings, except as provided in subparagraph 17.b.(7) of this enclosure.

f. Control markings are used in the banner line (and portion markings) to identify specialcontrol systems that provide additional access control or physical protection for the information or items covered by the program (e.g., SCI) or to identify the expansion or limitation on the distribution of information (i.e., dissemination controls). These markings are in addition to and separate from the level of classification.

(1) In the banner line, double forward slashes (//) separate the classification level andcontrol markings.

(2) Multiple entries may be chosen from the control marking categories if applicable. Ifmultiple entries are used, they are listed in the order in which they appear in Enclosure 4 and are separated by a single forward slash (/).

6. PORTION MARKS. Every classified document shall show, as clearly as is possible, whichinformation in it is classified and at what level. Derivatively classified documents shall beportion marked in accordance with their source.

DoDM 5200.01-V2, February 24, 2012


a. Every portion (e.g., subject, title, paragraphs, sections, tabs, attachments, classifiedsignature blocks, bullets, tables and pictures) in every classified document shall be marked to show the highest level of classification that it contains. When deciding whether a subportion is to be treated as a portion and separately marked, the criterion shall be whether the marking is necessary to avoid over-classification of any of the information or to eliminate doubt about the information’s classification level. If there are different levels of classification among a portion and any of its subportions, then all subportions shall be treated as individual portions and marked separately.

b. Portion markings shall be included at the beginning of the respective portion as thisposition affords maximum visibility to the reader. Thus, the classification level shown always applies to the text immediately to the right of the portion marking.

c. To indicate the appropriate classification level, the symbols ‘‘(TS)’’ for Top Secret,‘‘(S)’’ for Secret, and ‘‘(C)’’ for Confidential shall be used (see Figure 2). Portions which do not meet the standards for classification shall be marked with “(U)” for Unclassified.

Figure 2. Examples of Portion Markings

UNCLASSIFIED – CLASSIFICATION MARKINGS FOR ILLUSTRATION PURPOSES ONLY

(U) (C) (S) (TS) (U//FOUO) (S//NF/PROPIN)

(C//FRD) (//GBR S) (TS//SI/TK//RELIDO) (S//RD)

(S//REL) (TS//REL TO USA, AUS, CAN, GBR) (S//RD-N)

d. Portion marks shall include any control markings applicable to the portion (see Figure 2).Within the portion marking, double forward slashes (//) shall separate classification and control markings. Single forward slashes (/) shall separate multiple control markings within the same category (see Enclosure 4, section 1). Hyphens (-) are used to separate control markings and their sub-controls. If multiple control markings are used, they are listed in the order in which they appear in Enclosure 4.

e. Portion markings always use uppercase letters and are enclosed in parentheses.

(1) For numbered or lettered paragraphs or subparagraphs, the portion marking goes afterthe number or letter, and before the text.

(2) Portion markings for listings of references, enclosures, tabs, or attachments (e.g., aslisted on memorandums or transmittal documents) shall be placed before the subject or title and shall indicate the classification of that subject or title, not the classification of the document. See section 15 of this enclosure for additional guidance and examples.

DoDM 5200.01-V2, February 24, 2012


(3) Charts, graphs, photographs, illustrations, figures, drawings, and similar portionswithin classified documents must be marked to show their classification. The classification shall be based on the information contained in or revealed by the item. The portion marking shall be placed immediately preceding the chart, graph, etc., or within the item and shall be large enough to ensure viewers easily recognize it. Captions or titles of these portions must also be marked, as for text, and will indicate the classification of the caption or title, not of the portion (e.g., chart or graph) itself. The portion marking may be placed within the chart, graph, etc., and/or spelled out instead of being abbreviated when that more clearly identifies the classified status of the item. When possible, the marking should be integral to the item, so it is carried along with the item upon extraction.

(4) A classified signature block shall be portion marked to reflect the highestclassification level of the information contained within the signature block itself.

f. If an exceptional situation makes individual markings of each portion clearlyimpracticable, a statement may be substituted describing which portions are classified and their level of classification. This statement shall identify the information as specifically as parenthetical portion marking. When classification is a result of compilation, the statement required by section 12 of this enclosure meets this requirement. A waiver is not required in these situations.

g. Each portion of an UNCLASSIFIED document that requires dissemination control shallbe portion marked (e.g., (U//FOUO)) to show that it contains information requiring protection. Unclassified CUI will be marked in accordance with Volume 4 of this Manual. DoD Components that are elements of the IC shall mark those unclassified portions that do not require a dissemination control marking with the portion marking (U); other activities may, but are not required to, mark portions of unclassified documents that do not require dissemination control. However, if any portion not requiring dissemination control is marked “(U),” all portions of the document shall be marked.

h. A document not portion marked based on an ISOO-approved waiver must:

(1) Contain a warning which states that the document may NOT be used as a source forderivative classification.

(2) Be portion marked when transmitted outside the originating organization, unless theISOO waiver approval explicitly provides otherwise.

7. DOD COMPONENT, OFFICE, AND DATE OF ORIGIN. Every classified document shallshow on the first page, title page, or front cover (hereafter referred to as “the face of thedocument”), the originating DoD Component and office and the date of the document’s origin.This information shall be clear enough to allow someone receiving the document to contact thepreparing office if issues or questions about the classification arise. If not otherwise evident, theDoD Component and office of origin shall be identified and follow name and position on the‘‘Classified By:’’ line.

DoDM 5200.01-V2, February 24, 2012


8. CLASSIFICATION AUTHORITY BLOCK

a. General Requirements. The classification authority block shall appear on the face of eachclassified U.S. document, except as provided in subparagraph 8.a.(3) of this section, and shall indicate the authority for the classification determination and the duration of classification (i.e., declassification and downgrading instructions). The authority for the classification determination may be either original or derivative.

(1) The only requirement for the placement of the classification authority block is that itbe on the face of the document. While placement on the bottom left of the page is most typical, whether it is placed on the right or left side or appears as one line is determined by available space. The classification authority block on electronic e-mails, messages, web pages and similar electronic material may appear as a single line of text (also see section 17).

(2) The standard format YYYYMMDD shall be used when specifying dates in theclassification authority block.

(3) Include a “Declassify On:” line on the face of each classified U.S. Governmentdocument, except those containing RD or FRD. Documents containing both RD or FRD information and national security information (NSI) must include a “Declassify On:” line annotated as follows: “Not Applicable (or N/A) to RD/FRD portions” and “See source list for NSI portions.” The source list, which must be included and shall not be listed on the first page, must show the declassification instructions for each of the NSI sources. Do not mark documents containing only RD or FRD with declassification instructions.

(4) Downgrading instructions are not required for every classified document, but must beplaced on the face of each document to which they apply. A downgrading instruction is used in addition to, and not as a substitute for, declassification instructions. Downgrading instructions shall not be applied to documents containing FGI, RD, or FRD.

b. Original Classification

(1) On the face of each originally classified document (see Figure 3), regardless of themedia, the OCA shall apply these classification authority block markings:

(a) Classified By: List name and position title or personal identifier of the OCA.Include the DoD Component and office of origin if not otherwise evident.

(b) Reason: Cite the reason for classification.

(c) Downgrade To: If applicable, identify the lower level of classification at whichthe document should be safeguarded and date or independently verifiable event upon which the downgrading should take place. Note that a downgrading instruction is used in addition to, and not as a substitute for, declassification instructions.

DoDM 5200.01-V2, February 24, 2012


(d) Declassify On: Specify the date or independently verifiable event fordeclassification or, as provided in subparagraph 8.b.(5) of this section, an approved exemption category.

(2) Identify the OCA by name and position title or personal identifier. If the informationnormally included on the “Classified By:” line would reveal classified information not evident from the rest of the document, complete the “Classified By:” line with an unclassified personal identifier that can be traced through secure channels.

(3) If some information was originally classified at the time of preparation of thedocument and other information was derivatively classified, use the markings required for derivative classification. Identify the OCA by name and position title or personal identifier on the “Classified By:” line. Place “Multiple Sources” on the “Derived From:” line and maintain a record of the sources on or with the document. As part of that record, cite as one of the sources “Originally Classified Information” and identify the OCA and provide all information required for an original classification decision (i.e., provide the full classification authority block for the originally classified information).

(4) Identify the reason for classification by citation of the number “1.4” plus the letter(s)that corresponds to the appropriate category of information listed in section 1.4 of Reference (d). The OCA shall additionally provide a more detailed explanation of the reason for classification when that is not apparent from the content of the information (e.g., when classified by compilation). The categories, lettered as they appear in section 1.4 of Reference (d), are:

(a) Military plans, weapons systems, or operations.

(b) Foreign government information.

(c) Intelligence activities (including covert action), intelligence sources or methods,or cryptology.

(d) Foreign relations or foreign activities of the United States, including confidentialsources.

(e) Scientific, technological, or economic matters relating to the national security.

(f) U.S. Government programs for safeguarding nuclear materials or facilities.

(g) Vulnerabilities or capabilities of systems, installations, infrastructures, projects,plans, or protection services relating to the national security.

(h) The development, production, or use of weapons of mass destruction.

DoDM 5200.01-V2, February 24, 2012


Figure 3. Example of Originally Classified Document


MEMORANDUM FOR XXXXXXXXX XXXXXXXXXXXX

SUBJECT: (U) Delegation of SECRET Original Classification Authority (OCA)

(U) You are hereby delegated authority to classify information up to SECRET forinformation under your area of responsibility in accordance with Executive Order 13526, “Classified National Security Information” (the Order).

(S//REL) As an OCA you are required to receive training in original classification as provided by the Order and implementing directives prior to you exercising this authority. Your Security Manager will facilitate this training.

(S//REL) The Order also provides that OCAs shall prepare classification guides to facilitate the proper uniform derivative classification of information. Request that you provide a copy of your guide(s) to this office by December 31, 2009.

OCA Signature block

Classified By: OCA Name and Position Title Reason: 1.4(c) Downgrade To: CONFIDENTIAL on 20121231 Declassify On: 20171231

SECRET//REL TO USA, GBR

Classification authority block

OFFICE OF THE UNDER SECRETARY OF DEFENSE


Banner Line (overall classification marking)

Dec 31, 2007

Separator Classification Dissemination control

INTELLIGENCE

Portion Markings

DoDM 5200.01-V2, February 24, 2012


(5) The OCA should select, to the greatest extent possible, the declassificationinstruction that will result in the shortest duration of classification.

(a) The declassification instruction shall specify:

1. A date or independently verifiable event less than 10 years from the date of theoriginal classification;

2. A date 10 years from the date of the original classification;

3. A date or independently verifiable event greater than 10 and less than 25 yearsfrom the date of the original classification;

4. A date 25 years from the date of the original classification;

5. “50X1-HUM” for information that is clearly and demonstrably expected toreveal the identity of a confidential human source or a human intelligence source (do not include a declassification date or event); or

6. “50X2-WMD” for information that is clearly and demonstrably expected toreveal key design concepts of weapons of mass destruction (do not include a declassification date or event).

7. “25X” with date or event, designating a duration of up to 50 years from the dateof original classification,* when classifying information that clearly falls within an exemption from automatic declassification at 25 years that has previously been approved by the ISCAP.

(b) For originally classified documents, the date of the original classification decisionis the date of the document.

(c) The “Declassify On:” line for originally classified information may specify anexemption category (e.g., 25X1 through 25X9), with date or event, only when the originally classified information clearly falls under a pre-existing Interagency Security Classification Appeals Panel (ISCAP) approved exemption. See Volume 1, Enclosure 5, sections 13 through 15, of this Manual for additional information on exemptions. Include, following identification of the exemption category, the specific ISCAP-approved date or event for declassification.

c. Derivative Classification

(1) The face of each derivatively classified document shall include a classificationauthority block consisting of these elements (see Figure 4): “Classified By,” “Derived From,” and “Declassify On.” Declassification and downgrading instructions, which may be added to the

DoDM 5200.01-V2, February 24, 2012


classification authority block when applicable, shall be carried forward by the derivative classifier from the source document(s), from instructions in the appropriate security classification guide(s), or from other classification guidance issued by the OCA.

(a) Classified By: List name and position title or personal identifier of theDERIVATIVE classifier and, if not otherwise evident, include the Component and office of origin.

(b) Derived From: Concisely cite the source document or classification guide usedfor the classification determination, to include the originating Component or agency and, where available, office of origin; type of document (e.g., memorandum, security classification guide, or message); subject; and date. Do not carry forward information from the “Derived From” line on the source document; cite the source document itself (i.e., the document from which the information is obtained or extracted).

DoDM 5200.01-V2, February 24, 2012


Figure 4. Example of Derivatively Classified Document


date


Classification Separator Dissemination Control


SUBJECT: (U) Delegation of SECRET Original Classification Authority (OCA)

(U) You are hereby delegated authority to classify information up to SECRET forinformation under your area of responsibility in accordance with Executive Order 13526, “Classified National Security Information” (the Order).

(S) As an OCA you are required to receive training in original classification asprovided by the Order and implementing directives prior to your exercising this authority. Your Security Manager will facilitate this training.

(S//REL) The Order also provides that OCAs shall prepare classification guides to facilitate the proper uniform derivative classification of information. Request that you provide a copy of your guide(s) to this office by December 31, 2012.

Signature Block

Classified By: John Doe, Director Derived From: SecDef Memo,

dtd 20101024, Subj:_______ Declassify On: 20201024


Classification Authority Block

OFFICE OF THE UNDER SECRETARY OF DEFENSE

INTELLIGENCE

Portion Markings

Banner Line (overall classification marking)

(c) Downgrade To: If applicable, identify the lower level of classification at whichthe document should be safeguarded and date or event upon which the downgrading should take place. Note that a downgrading instruction is used in addition to, and not as a substitute for, declassification instructions.

DoDM 5200.01-V2, February 24, 2012


(d) Declassify On: Specify the date or event for declassification, exemption categorywith date or event for declassification, or other declassification instruction corresponding to the longest period of classification among the source document(s), security classification guide(s), and other applicable classification guidance issued by the OCA.

(2) When multiple sources (i.e., more than one security classification guide, sourcedocument, or combination of these) are used to produce a derivatively classified document:

(a) The “Derived From:” line shall state “Multiple Sources.”

(b) The list of multiple sources shall be included with or annotated on the derivativedocument. If the document has a bibliography or reference list, this may be used as the list of sources. Annotate it to distinguish the sources of classification from other references.

(3) When a document is derivatively classified on the basis of a single source documentthat is itself marked “Derived From: Multiple Sources,” the “Derived From:” line shall cite the specific source document, not “Multiple Sources.”

(4) If a security classification guide is used to determine the declassification date of aderivatively classified document, use the declassification instructions provided by the OCA. A date derived or calculated in accordance with instructions in the guide shall not exceed 25 years from the date of the creation of the derivative document, except for information that would reveal the identity of a confidential human source or a human intelligence source or key design concepts of weapons of mass destruction, or for which the guide cites an authorized exemption category. For example, if the guide specifies duration of “25 years,” the declassification date is 25 years from the date of the creation of the derivative document.

(5) If all the information in the document has the SAME declassification instructionassigned, place that instruction on the “Declassify On:” line. The allowable options are a date for declassification, an event for declassification, an exemption marking with associated date or event for declassification, or the markings “50X1-HUM” or “50X2-WMD.”

(6) If the document is classified by “multiple sources” and different declassificationinstructions apply to information included, determine the MOST RESTRICTIVE declassification instruction that applies to any of the source information (i.e., the one farthest in the future giving the longest period for classification) and place it on the “Declassify On:” line. This will ensure all of the information in the document is protected for as long as necessary. The guidance in the subparagraphs below typically provides the most restrictive date and the longest period for classification, but in some specific cases (e.g., for some 25X instructions) the hierarchy specified may not provide the correct results. In ALL cases, one must determine the period of classification for each source document and select the MOST RESTRICTIVE declassification instruction to carry forward.

(a) When determining the most restrictive declassification instruction, this hierarchyapplies:

DoDM 5200.01-V2, February 24, 2012


1. An ISCAP approved 75-year exemption (i.e., 75X1 through 75X9) with dateor event for declassification.

2. 50X1-HUM or 50X2-WMD.

3. An ISCAP approved 50-year exemption (i.e., 50X1 through 50X9) with dateor event for declassification.

4. An ISCAP approved 25-year exemption (i.e., 25X1 through 25X9) with a dateor event for declassification.

5. A specific date or event for declassification, within 25 years of the creation ofthe derivative document.

6. Absent a declassification instruction or other declassification guidance fromthe OCA, a calculated date 25 years from the date of the creation of the derivative document in accordance with subparagraph 8.c.(7) of this section.

(b) If declassification dates are specified for all of the source documents, place theLATEST date (i.e., the date farthest in the future) on the “Declassify On:” line. (Example: If the information is extracted from documents marked for declassification on 20110320 (i.e., March 20, 2011), 20120601 (i.e., June 1, 2012) and 20150403 (i.e., April 3, 2015), use “Declassify On: 20150403.”)

(c) If the sources of classification indicate a combination of date(s) and event(s),indicate that declassification should occur on the latest date or the occurrence of the event(s), whichever is later. (Example: One source specifies “Declassify On: 20140803”; the other is marked “Declassify On: Completion of tests.” Mark the derivatively classified document “Declassify On: 20140803 or Completion of tests, whichever is later.”)

(d) When necessary, use the date or event for declassification associated with a 25,50, or 75-year exemption to determine which marking is the most restrictive. Where an exemption marking is determined to be the most restrictive, also carry forward the associated date or event for declassification.

(7) If a document does not specify a definitive date or event for declassification or anexemption category, determine its declassification date in accordance with this subparagraph and use that date when determining the most restrictive declassification instruction. Carry forward the calculated date to the “Declassify On:” line when it is determined to be the most restrictive.

(a) If the source document, classification guide, or other guidance from the OCAdoes not specify a declassification instruction, use a date of 25 years from the date of the creation of the derivative document.

DoDM 5200.01-V2, February 24, 2012


(b) If the source document is missing both a declassification instruction and the dateof its origin and there is no other guidance from the OCA, use a date of 25 years from the creation of the derivative document.

(8) Follow the guidance in section 9 of this enclosure, when the source document orclassification guide contains any of these declassification instructions: “Originating Agency’s Determination Required,” “OADR,” “Source marked OADR,” “Manual Review,” “MR,” Source marked MR,” “DCI Only,” “DNI Only,” or any of the markings “X1,” “X2,” “X3,” “X4,” “X5,” “X6,” “X7,” or “X8,” or “Source marked X1” or any of the other markings “X2” through “X8.” This also applies when these declassification instructions are used with “Source Marked:” and “Date of Source: [date].”

(9) Carry over the declassification instruction “50X1-human” from the source documentto the derivative document.

d. Examples. Figures 5 through 7 provide examples of the required markings on varioustypes of documents.

DoDM 5200.01-V2, February 24, 2012


Figure 5. Markings on a Memorandum



SUBJECT: (U) Request for Data Concerning DoD Declassification Efforts

(U) The Public Interest Declassification Board (PIDB), in response to a requestfrom the Special Assistant to the President for National Security Affairs, is considering the establishment of a National Declassification Center to ensure more efficient, consistent, and timely declassification of records of permanent historical value. To begin this process, the PIDB requests the following information:

(U) The total overall cost to comply with the automatic and systematicdeclassification requirements of Executive Order 13526, “Classified National Security Information,” during fiscal year 2011; and

(S//REL TO USA, CAN, GBR) The full-time equivalent number (government and contractor) engaged in such activity during the same period of time.

Signature Block

Attachments: Tab A: (U) Tasking Memorandum Tab B: (U) Comments (Document is classified SECRET)

Classified By: John Doe, Director Derived From: USD(I) Memorandum, dtd 20100205, same subject Declassify On: 20200205 SECRET

NOTE: Since not all portions are releasable, the REL TO marking does not appear in the banner line.

SECRET OFFICE OF THE UNDER SECRETARY OF DEFENSE

Classification markings indicate classification of title or subject, not the classification of the document.

Optional

date INTELLIGENCE

DoDM 5200.01-V2, February 24, 2012


Figure 6. Markings on an Action Memorandum


SECRET

date

TO: USD(I)

FROM: DDI(CL&S)

SUBJECT: (U) Request for Data Concerning DoD Declassification Efforts

(U) PURPOSE: This is an example of the portion marking for a main paragraph.

(U) COORDINATION: None

(U) BACKGROUND:

• (S) This is the portion marking for a classified primary bullet statement.

o (U) This demonstrates that sub-bullets must also contain portionmarkings.

• (C) This is the portion marking for a classified primary bullet statement.

(U) RECOMMENDATION: Sign the Memorandum at right.

Signature Block

Classified By: John Smith, DDI (CL&S) Derived From: USD(I) Memorandum,

dtd 20110205, same subject Declassify On: 20210205

SECRET

DoDM 5200.01-V2, February 24, 2012


Figure 7. Markings on a Staff Summary Sheet


Example shows markings for paragraphs and subparagraphs, including those beginning with bullets.

The banner line shows the highest classification in the document (TOP SECRET) and also includes the dissemination control marking NOFORN, as it is included among the portion markings for specific information.

DoDM 5200.01-V2, February 24, 2012


9. USE OF CALCULATED DECLASSIFICATION DATE IN PLACE OF PREVIOUSDECLASSIFICATION INSTRUCTIONS

a. Except as provided in paragraph 9.c. of this section, when a source document is markedwith any of the previously used declassification instructions listed in subparagraphs 9.a.(1) through 9.a.(5) of this section, the derivative markings shall use a calculated declassification date that is 25 years from the date of the creation of the derivative document (see Figure 8), unless other guidance from the OCA is available.

Figure 8. Use of Calculated Declassification Date


Classified By: ID # IMN01 Derived From: DoD Dept of Good Works

memo dated 19931202, Subj: Equip Procurement

Declassify On: 20181202

SECRET

Classified By: Mary Jones Director of Security Department of Good Works

Reason: 1.4(g)

Declassify On: X4

December 2, 1993

SECRET

(1) “Originating Agency’s Determination Required” or “OADR” or “Source markedOADR.”

(2) “Manual Review” or “MR” or “Source marked MR.”

(3) “DCI Only.”

DoDM 5200.01-V2, February 24, 2012


(4) “DNI Only.”

(5) “X1,” “X2,” “X3,” “X4,” “X5,” “X6,” “X7,” or “X8” or “Source marked X1” or anyother markings “X2” through “X8.”

b. The “Derived From:” line or, if multiple sources are used, the listing of source documentsshall identify the date of the source document(s), as required by subparagraph 8.c.(1)(b) of this enclosure.

c. If imagery subject to E.O. 12951 (Reference (u)) is marked with the declassificationinstruction “DCI Only” or “DNI Only,” use “25X1, E.O. 12951” as the declassification instruction. (Contact the National Geospatial-Intelligence Agency Classification Management Office (NGA/SISCC) for assistance in determining whether specific imagery is subject to E.O. 12951.)

d. If a security classification guide calls for the use of any of the listed declassificationinstructions, the procedure in paragraph 9.a. of this section shall be followed. Additionally, the holder of the classification guide should request updated guidance from the OCA, as all classification guides should reflect the requirements of References (d) and (f) and those that do not must be updated immediately.

e. When using multiple sources of information all of whose declassification dates must becalculated, the “Declassify On:” line shall be calculated using the source with the MOST RECENT DATE. (Example: In the case of three source documents, one marked “OADR” and dated September 2, 1990, one marked “MR” and dated December 3, 1992, and one marked “X3” and dated October 15, 1995, the most recent date is October 15, 1995. Mark the derivative document “Declassify On: 20201015.”)

10. MARKINGS FOR CHANGES IN CLASSIFICATION

a. Confirmation of Change. When a document or item of material is marked fordowngrading or declassification on a date or event, the holder shall, prior to downgrading, declassification, or removal of classification markings, confirm that the OCA for the information has not extended the classification period. This can be done by reference to a security classification or declassification guide or by consultation with the OCA.

b. Declassification. See section 11 of this enclosure for guidance on marking declassifiedinformation. Volume 1, Enclosure 5 provides additional guidance on declassification of information.

c. Downgrading. Cancel (i.e., line through) old classification markings and substitute thenew ones when a document is downgraded according to its markings. For bulky documents, where changing all old markings is not practical, as a minimum, the markings on the cover (if one exists), title page (if on

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